Indexing and Hashing
Indexing and Hashing
Basic Concepts
Ordered Indices
B+-Tree Index Files
B-Tree Index Files
Static Hashing
Dynamic Hashing
Comparison of Ordered Indexing and Hashing
Index Definition in SQL
Multiple-Key Access
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Basic Concepts
Indexing mechanisms used to speed up access to
desired data.
E.g., author catalog in library
Search Key - attribute to set of attributes used to
look up records in a file.
An index file consists of records (called index
entries) of the form
search-key pointer
Index files are typically much smaller than the
original file
Two basic kinds of indices:
Ordered indices: search keys are stored in sorted order
Hash indices: search keys are distributed uniformly across “buckets”
using a “hash function”.
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Index Evaluation Metrics
Access types supported efficiently.
E.g.,
records with a specified value in the attribute
or records with an attribute value falling in a specified
range of values (e.g. 10000 < salary < 40000)
Access time
Insertion time
Deletion time
Space overhead
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Ordered Indices
In an ordered index, index entries are stored sorted
on the search key value. E.g., author catalog in
library
Primary index: in a sequentially ordered file, the index
whose search key specifies the sequential order of
the file
Also called clustering index
The search key of a primary index is usually but not necessarily the primary
key
Secondary index: an index whose search key specifies
an order different from the sequential order of the
file. Also called non-clustering index
Index-sequential file: ordered sequential file with a
primary index
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Dense Index Files
Dense index — Index record appears for
every search-key value in the file.
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Sparse Index Files
Sparse Index: contains index records for only some search-
key values.
Applicable when records are sequentially ordered on search-key
To locate a record with search-key value K we:
Find index record with largest search-key value < K
Search file sequentially starting at the record to which the index record points
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Sparse Index Files (Cont.)
Compared to dense indices:
Less space and less maintenance overhead for
insertions and deletions.
Generally slower than dense index for locating
records.
Good tradeoff: sparse index with an
index entry for every block in file,
corresponding to least search-key
value in the block.
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Multilevel Index
If primary index does not fit in memory, access
becomes expensive
Solution: treat primary index kept on disk as a
sequential file and construct a sparse index on it
outer index – a sparse index of primary index
inner index – the primary index file
If even outer index is too large to fit in main
memory, yet another level of index can be
created, and so on
Indices at all levels must be updated on insertion
or deletion from the file
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Multilevel Index (Cont.)
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Index Update: Record Deletion
If deleted record was the only record in the file
with its particular search-key value, the search-key
is deleted from the index also.
Single-level index deletion:
Dense indices – deletion of search-key: similar to file record deletion.
Sparse indices –
if deleted key value exists in the index, the value is replaced by the next
search-key value in the file (in search-key order).
If the next search-key value already has an index entry, the entry is
deleted instead of being replaced.
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Index Update: Record Insertion
Single-level index insertion:
Perform a lookup using the key value from inserted record
Dense indices – if the search-key value does not appear in
the index, insert it.
Sparse indices – if index stores an entry for each block of
the file, no change needs to be made to the index unless a
new block is created.
If a new block is created, the first search-key value
appearing in the new block is inserted into the index.
Multilevel insertion (as well as deletion)
algorithms are simple extensions of the
single-level algorithms
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Secondary Indices Example
Secondary index on balance field of account
Index record points to a bucket that contains
pointers to all the actual records with that particular
search-key value
Secondary indices have to be dense
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Primary and Secondary Indices
Indices offer substantial benefits when searching
for records.
BUT: Updating indices imposes overhead on
database modification --when a file is modified,
every index on the file must be updated,
Sequential scan using primary index is efficient,
but a sequential scan using a secondary index is
expensive
Each record access may fetch a new block from disk
Block fetch requires about 5 to 10 micro seconds, versus about 100
nanoseconds for memory access
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B+-Tree Index Files
B+-tree indices are an alternative to indexed-sequential files.
Disadvantage of indexed-sequential files
performance degrades as file grows, since many overflow blocks get
created.
Periodic reorganization of entire file is required.
Advantage of B+-tree index files:
automatically reorganizes itself with small, local, changes, in the
face of insertions and deletions.
Reorganization of entire file is not required to maintain performance.
(Minor) disadvantage of B+-trees:
extra insertion and deletion overhead, space overhead .
Advantages of B+-trees outweigh disadvantages
B+-trees are used extensively
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B+-Tree Index Files (Cont.)
A B+-tree is a rooted tree satisfying the following properties:
All paths from root to leaf are of the same
length
Each node that is not a root or a leaf has
between n/2 and n children.
A leaf node has between (n–1)/2 and n–1
values
Special cases:
If the root is not a leaf, it has at least 2 children.
If the root is a leaf (that is, there are no other nodes in the tree),
it can have between 0 and (n–1) values.
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B+-Tree Node Structure
Typical node
Ki are the search-key values
Pi are pointers to children (for non-leaf nodes) or
pointers to records or buckets of records (for leaf
nodes).
The search-keys in a node are ordered
K1 < K2 < K3 < . . . < Kn–1
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Leaf Nodes in B+-Trees
Properties of a leaf node:
For i = 1, 2, . . ., n–1, pointer Pi either points
to a file record with search-key value Ki, or to
a bucket of pointers to file records, each record
having search-key value Ki. Only need bucket st
ructure if search-key does not form a primary k
ey.
If Li, Lj are leaf nodes and i < j, Li’s search-key
values are less than Lj’s search-key values
Pn points to next leaf node in search-key order
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Non-Leaf Nodes in B+-Trees
Non leaf nodes form a multi-level sparse index on the lea
f nodes. For a non-leaf node with m pointers:
All the search-keys in the subtree to which P1 points are less
than K1
For 2 i n – 1, all the search-keys in the subtree to whic
h Pi points have values greater than or equal to Ki–1 and less
than Ki
All the search-keys in the subtree to which Pn points have valu
es greater than or equal to Kn–1
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Example of a B+-tree
B+-tree for account file (n = 3)
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Example of B+-tree
B+-tree for account file (n = 5)
Leaf nodes must have between 2 and 4 values
((n–1)/2 and n –1, with n = 5).
Non-leaf nodes other than root must have
between 3 and 5 children ((n/2 and n with n
=5).
Root must have at least 2 children.
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Observations about B+-trees
Since the inter-node connections are done by pointers, “logi
cally” close blocks need not be “physically” close.
The non-leaf levels of the B+-tree form a hierarchy of spar
se indices.
The B+-tree contains a relatively small number of levels
Level below root has at least 2* n/2 values
Next level has at least 2* n/2 * n/2 values
.. etc.
If there are K search-key values in the file, the tr
ee height is no more than logn/2(K)
thus searches can be conducted efficiently.
Insertions and deletions to the main file can be handle
d efficiently, as the index can be restructured in logar
ithmic time (as we shall see).
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Queries on B+-Trees
Find all records with a search-key value of k.
1. N=root
2. Repeat
1. Examine N for the smallest search-key value > k.
2. If such a value exists, assume it is Ki. Then set N = Pi
3. Otherwise k Kn–1. Set N = Pn
Until N is a leaf node
3. If for some i, key Ki = k follow pointer Pi to the desired rec
ord or bucket.
4. Else no record with search-key value k exists.
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Queries on B+-Trees (Cont.)
If there are K search-key values in the file, the
height of the tree is no more than logn/2(K).
A node is generally the same size as a disk block,
typically 4 kilobytes
and n is typically around 100 (40 bytes per index entry).
With 1 million search key values and n = 100
at most log50(1,000,000) = 4 nodes are accessed in a lookup.
Contrast this with a balanced binary tree with 1
million search key values — around 20 nodes are
accessed in a lookup
above difference is significant since every node access may need a disk
I/O, costing around 20 milliseconds
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Updates on B+-Trees: Insertion
1. Find the leaf node in which the search-key
value would appear
2. If the search-key value is already present in
the leaf node
1. Add record to the file
3. If the search-key value is not present, then
1. add the record to the main file (and create a bucket if
necessary)
2. If there is room in the leaf node, insert (key-value, pointer)
pair in the leaf node
3. Otherwise, split the node (along with the new (key-value,
pointer) entry) as discussed in the next slide.
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Updates on B+-Trees: Insertion (Cont.)
Splitting a leaf node:
take the n (search-key value, pointer) pairs (including the
one being inserted) in sorted order. Place the first n/2 in
the original node, and the rest in a new node.
let the new node be p, and let k be the least key value in p.
Insert (k,p) in the parent of the node being split.
If the parent is full, split it and propagate the split further
up.
Splitting of nodes proceeds upwards till a
node that is not full is found.
In the worst case the root node may be split increasing the
height of the tree by 1.
Result of splitting node containing Brighton and Downtown on inserting Clearvie
w
Next step: insert entry with (Downtown,pointer-to-new-node)
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Updates on B -Trees: Insertion
(Cont.)
B+-Tree before and after insertion of “Clearview”
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Insertion in B+-Trees (Cont.)
Splitting a non-leaf node: when inserting
(k,p) into an already full internal node N
Copy N to an in-memory area M with space for
n+1 pointers and n keys
Insert (k,p) into M
Copy P1,K1, …, K n/2-1,P n/2 from M back into
node N
Copy Pn/2+1,K n/2+1,…,Kn,Pn+1 from M into newly
allocated node N’
Insert (K n/2,N’) into parent NMianus
Read pseudocode in book!
Downtown Mianus Perryridge Downtown Redwood
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Updates on B+-Trees: Deletion
Find the record to be deleted, and remove it from the
main file and from the bucket (if present)
Remove (search-key value, pointer) from the leaf node
if there is no bucket or if the bucket has become
empty
If the node has too few entries due to the removal,
and the entries in the node and a sibling fit into a
single node, then merge siblings:
Insert all the search-key values in the two nodes into a single node (the one
on the left), and delete the other node.
Delete the pair (Ki–1, Pi), where Pi is the pointer to the deleted node, from
its parent, recursively using the above procedure.
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Updates on B+-Trees:
Deletion
Otherwise, if the node has too few entries due to
the removal, but the entries in the node and a
sibling do not fit into a single node, then
redistribute pointers:
Redistribute the pointers between the node and a sibling such that
both have more than the minimum number of entries.
Update the corresponding search-key value in the parent of the node.
The node deletions may cascade upwards till a
node which has n/2 or more pointers is found.
If the root node has only one pointer after
deletion, it is deleted and the sole child becomes
the root.
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Examples of B+-Tree Deletion
Before and after deleting “Downtown”
Deleting “Downtown” causes merging of under-full leaves
leaf node can become empty only for n=3!
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Examples of B+-Tree Deletion
(Cont.)
Before and After deletion of “Perryridge” from result of
previous example
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Examples of B+-Tree Deletion
(Cont.)
Leaf with “Perryridge” becomes underfull (actually empty, in this special case)
and merged with its sibling.
As a result “Perryridge” node’s parent became underfull, and was merged with i
ts sibling
Value separating two nodes (at parent) moves into merged node
Entry deleted from parent
Root node then has only one child, and is deleted
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Example of B+-tree Deletion
(Cont.)
Before and after deletion of “Perryridge” from earlier example
Parent of leaf containing Perryridge became underfull, and
borrowed a pointer from its left sibling
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parent’s parent changes as a result
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B+-Tree File Organization
Index file degradation problem is solved by using B+-
Tree indices.
Data file degradation problem is solved by using B+-T
ree File Organization.
The leaf nodes in a B+-tree file organization store re
cords, instead of pointers.
Leaf nodes are still required to be half full
Since records are larger than pointers, the maximum number o
f records that can be stored in a leaf node is less than the
number of pointers in a nonleaf node.
Insertion and deletion are handled in the same way a
s insertion and deletion of entries in a B+-tree index.
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B+-Tree File Organization (Cont.)
Example of B+-tree File Organization
Good space utilization important since records use
more space than pointers.
To improve space utilization, involve more sibling
nodes in redistribution during splits and merges
2n / 3
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Indexing Strings
Variable length strings as keys
Variable fanout
Use space utilization as criterion for splitting, not numbe
r of pointers
Prefix compression
Key values at internal nodes can be prefixes of full key
Keep enough characters to distinguish entries in the subtrees
separated by the key value
E.g. “Silas” and “Silberschatz” can be separated by “Sil
b”
Keys in leaf node can be compressed by sharing common prefi
xes
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B-Tree Index Files
Similar to B+-tree, but B-tree allows search-key values to appear only
once; eliminates redundant storage of search keys.
Search keys in nonleaf nodes appear nowhere else in the B-tree; an
additional pointer field for each search key in a nonleaf node must be
included.
Generalized B-tree leaf node
Nonleaf node – pointers Bi are the
bucket or file record pointers
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B-Tree Index File Example
B-tree (above) and B+-tree (below) on same data
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B-Tree Index Files (Cont.)
Advantages of B-Tree indices:
May use less tree nodes than a corresponding B+-Tree.
Sometimes possible to find search-key value before reaching leaf node.
Disadvantages of B-Tree indices:
Only small fraction of all search-key values are found early
Non-leaf nodes are larger, so fan-out is reduced. Thus, B-Trees typically
have greater depth than corresponding B+-Tree
Insertion and deletion more complicated than in B+-Trees
Implementation is harder than B+-Trees.
Typically, advantages of B-Trees do not out weigh
disadvantages.
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Multiple-Key Access
Use multiple indices for certain types of queries.
Example:
select account_number
from account
where branch_name = “Perryridge” and balance = 1000
Possible strategies for processing query using indices
on single attributes:
1. Use index on branch_name to find accounts with branch name
Perryridge; test balance = 1000
2. Use index on balance to find accounts with balances of $100
0; test branch_name = “Perryridge”.
3. Use branch_name index to find pointers to all records perta
ining to the Perryridge branch. Similarly use index on bal
ance. Take intersection of both sets of pointers obtained.
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Indices on Multiple Keys
Composite search keys are search keys c
ontaining more than one attribute
E.g. (branch_name, balance)
Lexicographic ordering: (a1, a2) < (b1, b
2) if either
a1 < b1, or
a1=b1 and a2 < b 2
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Indices on Multiple Attributes
Suppose we have an index on combined search-key (branch_name, balan
ce)
For where branch_name = “Perryridge” and balance =
1000
the index on (branch_name, balance) can be used to f
etch only records that satisfy both conditions.
Using separate indices in less efficient — we may fetch many
records (or pointers) that satisfy only one of the conditions.
Can also efficiently handle where branch_name = “Perr
yridge” and balance < 1000
But cannot efficiently handle where branch_name < “P
erryridge” and balance = 1000
May fetch many records that satisfy the first but not the sec
ond condition
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Non-Unique Search Keys
Alternatives:
Buckets on separate block (bad idea)
List of tuple pointers with each key
Low space overhead, no extra cost for queries
Extra code to handle read/update of long lists
Deletion of a tuple can be expensive if there are
many duplicates on search key (why?)
Make search key unique by adding a record-identifier
Extra storage overhead for keys
Simpler code for insertion/deletion
Widely used
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Other Issues in Indexing
Covering indices
Add extra attributes to index so (some) queries can avoid fetching the actual
records
Particularly useful for secondary indices
Why?
Can store extra attributes only at leaf
Record relocation and secondary indices
If a record moves, all secondary indices that store record pointers have to be
updated
Node splits in B+-tree file organizations become very expensive
Solution: use primary-index search key instead of record pointer in
secondary index
Extra traversal of primary index to locate record
Higher cost for queries, but node splits are cheap
Add record-id if primary-index search key is non-unique
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Hashing
Static Hashing
A bucket is a unit of storage containing one or more
records (a bucket is typically a disk block).
In a hash file organization we obtain the bucket of a
record directly from its search-key value using a hash
function.
Hash function h is a function from the set of all search-
key values K to the set of all bucket addresses B.
Hash function is used to locate records for access,
insertion as well as deletion.
Records with different search-key values may be mapped
to the same bucket; thus entire bucket has to be
searched sequentially to locate a record.
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Example of Hash File Organization
Hash file organization of account file, using branch_name as key
(See figure in next slide.)
There are 10 buckets,
The binary representation of the ith charac
ter is assumed to be the integer i.
The hash function returns the sum of the bi
nary representations of the characters mod
ulo 10
E.g. h(Perryridge) = 5 h(Round Hill) = 3 h
(Brighton) = 3
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Example of Hash File Organization
Hash file organization of acco
unt file, using branch_name a
s key
(see previous slide for details
).
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Hash Functions
Worst hash function maps all search-key values to the same
bucket; this makes access time proportional to the number of
search-key values in the file.
An ideal hash function is uniform, i.e., each bucket is assigned
the same number of search-key values from the set of all
possible values.
Ideal hash function is random, so each bucket will have the
same number of records assigned to it irrespective of the
actual distribution of search-key values in the file.
Typical hash functions perform computation on the internal
binary representation of the search-key.
For example, for a string search-key, the binary representations of all the
characters in the string could be added and the sum modulo the number of buckets
could be returned. .
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Handling of Bucket Overflows
Bucket overflow can occur because of
Insufficient buckets
Skew in distribution of records. This can occur due to two
reasons:
multiple records have same search-key value
chosen hash function produces non-uniform distribution of
key values
Although the probability of bucket overflow
can be reduced, it cannot be eliminated; it is
handled by using overflow buckets.
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Handling of Bucket Overflows (Cont.)
Overflow chaining – the overflow buckets of a
given bucket are chained together in a linked
list.
Above scheme is called closed hashing.
An alternative, called open hashing, which does not use
overflow buckets, is not suitable for database applications.
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Hash Indices
Hashing can be used not only for file
organization, but also for index-structure
creation.
A hash index organizes the search keys, with
their associated record pointers, into a hash
file structure.
Strictly speaking, hash indices are always
secondary indices
if the file itself is organized using hashing, a separate primary
hash index on it using the same search-key is unnecessary.
However, we use the term hash index to refer to both secondary
index structures and hash organized files.
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Example of Hash Index
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Deficiencies of Static Hashing
In static hashing, function h maps search-key values to
a fixed set of B of bucket addresses. Databases grow
or shrink with time.
If initial number of buckets is too small, and file grows, per
formance will degrade due to too much overflows.
If space is allocated for anticipated growth, a significant am
ount of space will be wasted initially (and buckets will be un
derfull).
If database shrinks, again space will be wasted.
One solution: periodic re-organization of the file with
a new hash function
Expensive, disrupts normal operations
Better solution: allow the number of buckets to be mod
ified dynamically.
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Dynamic Hashing
Good for database that grows and shrinks in size
Allows the hash function to be modified dynamically
Extendable hashing – one form of dynamic hashing
Hash function generates values over a large range — typically b-bit
integers, with b = 32.
At any time use only a prefix of the hash function to index into a table of
bucket addresses.
Let the length of the prefix be i bits, 0 i 32.
Bucket address table size = 2i. Initially i = 0
Value of i grows and shrinks as the size of the database grows and
shrinks.
Multiple entries in the bucket address table may point to a bucket (why?)
Thus, actual number of buckets is < 2i
The number of buckets also changes dynamically due to coalescing
and splitting of buckets.
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General Extendable Hash Structure
In this structure, i2 = i3 = i, whereas i1 = i – 1 (see next
slide for details)
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Use of Extendable Hash Structure
Each bucket j stores a value ij
All the entries that point to the same bucket have the same values on
the first ij bits.
To locate the bucket containing search-key Kj:
1. Compute h(Kj) = X
2. Use the first i high order bits of X as a displacement into bucket ad
dress table, and follow the pointer to appropriate bucket
To insert a record with search-key value Kj
follow same procedure as look-up and locate the bucket, say j.
If there is room in the bucket j insert record in the bucket.
Else the bucket must be split and insertion re-attempted (next slid
e.)
Overflow buckets used instead in some cases (will see shortly)
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Insertion in Extendable Hash Structure
(Cont)
To split a bucket j when inserting record with search-key value Kj:
If i > ij (more than one pointer to bucket j)
allocate a new bucket z, and set ij = iz = (ij + 1)
Update the second half of the bucket address table entries
originally pointing to j, to point to z
remove each record in bucket j and reinsert (in j or z)
recompute new bucket for Kj and insert record in the bucket
(further splitting is required if the bucket is still full)
If i = ij (only one pointer to bucket j)
If i reaches some limit b, or too many splits have happened
in this insertion, create an overflow bucket
Else
increment i and double the size of the bucket address table.
replace each entry in the table by two entries that point to the same buc
ket.
recompute new bucket address table entry for Kj
Now i > ij so use the first case above.
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Deletion in Extendable Hash Structure
To delete a key value,
locate it in its bucket and remove it.
The bucket itself can be removed if it becomes empty
(with appropriate updates to the bucket address table).
Coalescing of buckets can be done (can coalesce only w
ith a “buddy” bucket having same value of ij and sam
e ij –1 prefix, if it is present)
Decreasing bucket address table size is also possible
Note: decreasing bucket address table size is an expensive operati
on and should be done only if number of buckets becomes much sm
aller than the size of the table
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Use of Extendable Hash Structure
Initial Hash structure, bucket size = 2
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Example (Cont.)
Hash structure after insertion of one
Brighton and two Downtown records
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Example (Cont.)
Hash structure after insertion of Mianus record
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Example (Cont.)
Hash structure after insertion of three Perryridge records
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Example (Cont.)
Hash structure after insertion of Redwood
and Round Hill records
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Extendable Hashing vs. Other Schemes
Benefits of extendable hashing:
Hash performance does not degrade with growth of file
Minimal space overhead
Disadvantages of extendable hashing
Extra level of indirection to find desired record
Bucket address table may itself become very big (larger than memory)
Cannot allocate very large contiguous areas on disk either
Solution: B+-tree file organization to store bucket address table
Changing size of bucket address table is an expensive operation
Linear hashing is an alternative mechanism
Allows incremental growth of its directory (equivalent to bucket address
table)
At the cost of more bucket overflows
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Comparison of Ordered Indexing and Hashing
Cost of periodic re-organization
Relative frequency of insertions and deletions
Is it desirable to optimize average access time at the
expense of worst-case access time?
Expected type of queries:
Hashing is generally better at retrieving records having a spe
cified value of the key.
If range queries are common, ordered indices are to be preferr
ed
In practice:
PostgreSQL supports hash indices, but discourages use due to p
oor performance
Oracle supports static hash organization, but not hash indices
MySQL supports hash indices
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Index Definition in SQL
Create an index
create index <index-name> on <relation-name>
(<attribute-list>)
E.g.: create index b-index on branch(branch_name)
Use create unique index to indirectly specify and enf
orce the condition that the search key is a candida
te key is a candidate key.
Not really required if SQL unique integrity constraint is
supported
To drop an index
drop index <index-name>
Most database systems allow specification of type o
f index, and clustering.
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End of Chapter
Partitioned Hashing
Hash values are split into segments that depend on each
attribute of the search-key.
(A1, A2, . . . , An) for n attribute search-key
Example: n = 2, for customer, search-key being
(customer-street, customer-city)
search-key value hash value
(Main, Harrison) 101 111
(Main, Brooklyn) 101 001
(Park, Palo Alto) 010 010
(Spring, Brooklyn) 001 001
(Alma, Palo Alto) 110 010
To answer equality query on single attribute, need to look
up multiple buckets. Similar in effect to grid files.
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Sequential File For account
Records
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Sample account File
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Figure 12.2
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Figure 12.14
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Figure 12.25
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Grid Files
Structure used to speed the processing of
general multiple search-key queries involving
one or more comparison operators.
The grid file has a single grid array and one
linear scale for each search-key attribute.
The grid array has number of dimensions
equal to number of search-key attributes.
Multiple cells of grid array can point to
same bucket
To find the bucket for a search-key value,
locate the row and column of its cell using
the linear scales and follow pointer
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Example Grid File for account
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Queries on a Grid File
A grid file on two attributes A and B can
handle queries of all following forms with
reasonable efficiency
(a1 A a2)
(b1 B b2)
(a1 A a2 b1 B b2),.
E.g., to answer (a1 A a2 b1 B b2),
use linear scales to find corresponding
candidate grid array cells, and look up all the
buckets pointed to from those cells.
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Grid Files (Cont.)
During insertion, if a bucket becomes full, new bucket
can be created if more than one cell points to it.
Idea similar to extendable hashing, but on multiple dimensions
If only one cell points to it, either an overflow bucket must be created or the
grid size must be increased
Linear scales must be chosen to uniformly distribute
records across cells.
Otherwise there will be too many overflow buckets.
Periodic re-organization to increase grid size will help.
But reorganization can be very expensive.
Space overhead of grid array can be high.
R-trees (Chapter 23) are an alternative
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